Jacquin P. Fink, a stockbroker currently registered with Merrill Lynch, Pierce, Fenner & Smith, has been named in a customer initiated investment related written complaint on October 13, 2016, in which the customer requested $300,000.00 in damages based upon allegations that between October 2015 and October 2016, Fink made unsuitable equity investment recommendations to the customer pertaining to equity transactions.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Fink has been identified in six additional customer initiated investment related disputes containing allegations of Fink’s misconduct while employed with Merrill Lynch. Specifically, on July 12, 1994, a customer initiated investment related complaint involving Fink’s conduct was settled for $55,000.00 in damages based upon allegations that Fink churned the customer’s account and effected unsuitable transactions.
On September 29, 2010, a customer initiated investment related arbitration claim involving Fink’s conduct was settled for $200,000.00 in damages based upon allegations that Fink effected unauthorized trades in the customer’s account, made unsuitable investment recommendations to the customer, and effected trades in the customer’s account on an excessive basis pertaining to preferred and common stock transactions.
Subsequently, on September 7, 2012, a customer initiated investment related arbitration claim regarding Fink’s activities was resolved for $1,729,000.00 in damages based upon allegations that Fink effected transactions on an aggressive basis in the customer’s account and made misrepresentations to the customer regarding municipal debt instruments. On December 22, 2015, another customer initiated investment related written complaint involving Fink’s conduct was resolved for $106,092.75 in damages based upon allegations that from October of 2012 to August of 2014, Fink made unsuitable investment recommendations to the customer pertaining to over-the-counter equities.
Further, on December 1, 2016, a customer initiated investment related arbitration claim regarding Fink’s activities was resolved for $402,500.00 in damages based upon allegations that between October of 2013 to January of 2016, Fink effected trades in the customer’s account on an excessive basis, made misrepresentations and omissions to the customer, and made unsuitable investment recommendations pertaining to equity transactions. Then, on December 6, 2016, a customer initiated investment related arbitration claim involving Fink’s conduct was settled for $30,000.00 in damages based upon allegations that Fink made misrepresentations to the customer as well as unsuitable investment recommendations concerning equities.
Guiliano Law Group
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